APPLICATION FOR CLINICAL RESEARCH ORGANIZATIONS & CLINICAL TRIALS FOR
PROFESSIONAL AND GENERAL LIABILITY INCLUDING PRODUCTS LIABILITY INSURANCE
(Claims Made Basis)
APPLICANT’S INSTRUCTIONS:
1. Answer all questions. If the answer requires detail, please attach a separate sheet.
2. Application must be signed and dated by owner, partner or officer.
3.  Please do not complete application earlier than 45 days before proposed effective date of coverage.
4. PLEASE READ CAREFULLY THE STATEMENTS AT THE END OF THIS APPLICATION.
(PLEASE TYPE OR PRINT IN INK)
1.	APPLICANT INFORMATION
	a.	Full name of Applicant: 	
	b.	Principal business premise address: 		
				(Street)		(County)
					
			(City)	(State)	(Zip)
	c.	Number of Employees:  Full time ________        Part time ________        Seasonal ________        Total 	
	d.	Additional office locations: 	
	e.	Name of parent company: 	
	f.	Please describe all operations to be insured: 	
				
	g.	Phone: (    ) _______________________
	h.	[   ] Corporation      [   ] Partnership      [    ] Joint Venture      [    ] Sole Proprietor      [    ] Other
	i.	Date Established: ____________________
2.	APPLICANT OPERATIONS
	a.	Fees and Receipts
Estimate for 		Estimate for Next
Current Year	Fiscal Year
		Date: From _________to_________	Dates: From _________to_________
	b.	Percentage of foreign professional services and provide the names of the countries involved: 	
	c.	Do you manufacture or sell any products?	[   ] Yes  [   ] No
		If Yes, please attach a detailed description of your current products and any future products being researched.
	d.	Please indicate the phase of testing for which you are seeking coverage:  Phase 
		(i)	Please describe this phase: 	
				
		(ii)	Will this phase be performed in accordance with an FDA approved protocol?	[   ] Yes  [   ] No
			If No, please explain. 	
		(iii)	Please indicate IND number: ____________________
		(iv)	Will this phase and have all previous related phases been performed in accordance
			with an FDA approved protocol? 	[   ] Yes  [   ] No
			If No, please explain. 	
	e.	Will you or your employees provide any health care services in conjunction with this trial?	[   ] Yes [   ] No
		If Yes: 	Professional Title: 	
				Description of services provided: 	
	f.	Is the clinical investigator an employee of your firm?	[   ] Yes  [   ] No
	g.	Is the clinical investigator an employee of the test site facility?	[   ] Yes  [   ] No
	h.	(i)	Please provide the name and the proposed use or function of the product being tested.
				
		(ii)	Are you aware of any other approved uses or functions of the product being tested?	[   ] Yes  [   ] No
			If Yes, please attach a detailed explanation.
		(iii)	Do you have any knowledge that this product or any of its components might cause or 
			contribute to any immune system reactions? 	[   ] Yes  [   ] No
			If Yes, please attach a detailed explanation.
i.	Please provide the name of the product manufacturer (if other than yourself): 	
j.	Is the Applicant a “Covered Entity” under the Health Insurance Portability and Accountability Act of 1996 (HIPAA) Privacy Rule?	[   ] Yes  [   ] No  
		If Yes,
		(i)	Has the Applicant implemented procedures to comply with the HIPAA Privacy Rule?	[   ] Yes  [   ] No
		(ii)	Provide the name and title of the Applicant’s Privacy Officer.	
Our Business Associate Agreement is available at www.shand.com or by fax by calling (847) 572-6268 (Form No. ZZ50002). This is the only Business Associate Agreement we will recognize.
3.	TESTING INFORMATION
	a.	Please indicate the anticipated number of test subjects over the next 12 months: 	
	b.	Please give the sex and age of the test subjects: 	
				
	c.	How will test subjects be recruited? Please provide a detailed explanation. 	

	d.	Will test subjects be required to sign an informed consent document?	[   ] Yes  [   ] No
	e.	The anticipated trial period:  From __________________  To  __________________
	f.	How will the trial be conducted and by whom? 	
		Please attach a detailed explanation.
	g.	How will the trial be funded? 	
				
	h.	Where will the trial be performed?  Please check the appropriate response.
		[    ] Facility & Location   [   ] Non-Profit Testing Institute
		[    ] Clinical Research Center   [   ] Other (please describe) 	
		(Please attach a list if additional space is needed.)
	i.	(i)	Will an Institutional Review Board oversee the trials?	[   ] Yes  [   ] No
		(ii)	Are you a member of this Board?	[   ] Yes  [   ] No
	j.	Please indicate the number of employed professionals or independent contractors.   (IF NONE, STATE NONE.)
		Contractor
	Employee	Independent	Total
		(i)	RN/LPN	_________	_________	_________
		(ii)	Lab Tech.	_________	_________	_________
		(iii)	Clinical Investigator	_________	_________	_________
		(iv)	Clinical Research
			 Assoc.	_________	_________	_________
		Contractor
	Employee	Independent	Total
		(v)	Physician	_________	_________	_________
		(vi)	Medical Monitor	_________	_________	_________
		(vii)	Engineer	_________	_________	_________
		(viii)	Biostatistician	_________	_________	_________
		(ix)	Data Entry	_________	_________	_________
		(x)	Legal Counsel	_________	_________	_________
		(xi)	Other___________	_________	_________	_________
			________________	_________	_________	_________
	k.	Do you perform any environmental testing or consulting?	[   ] Yes  [   ] No
		If Yes, please attach a detailed explanation.
	l.	Please indicate testing performed on specified products over the last 12 months and anticipated testing to be performed over the next 12 months:
				Last	Next
				12 Months	12 Months
		(i)	Hormones & Steroids	________	________
		(ii)	Vaccines	_________	________
		(iii)	Injectables	_________	________
		(iv)	Prescription Products	_________	________
		(v)	Over the Counter	_________	________
		(vi)	Diet Aids	_________	________
		(vii)	Vitamins	_________	________
		(viii)	Food Supplements	_________	________
		(ix)	Novel Drugs	_________	________
		(x)	Generic Off-Patient	_________	________
		(xi)	Products, Other than Above	_________	________
		(xii)	Instruments (x-diagnostic)	_________	________
		(xiii)	Cosmetics, Health
			 & Beauty Aids	_________	________
		(xiv)	Surgical Equipment	_________	________
		(xv)	Diagnostic Instruments
			 & Equipment	_________	________
		(xvi)  Therapeutic Devices	_________	________
		(xvii)  Life Support	_________	________
		(xviii)	Other	_________	________
4.	APPLICANT HISTORY
	a.	Provide a brief description of the results of any previous related trials: 	
				
	b.	Fully describe any adverse results from previous related trials including animal studies and/or toxicity studies:

	c.	List any claims related information provided in 4(a) and 4(b) above:
			 Date
	Claimant	of Loss	Expense	Indemnity	Nature of Injury

			
			
5.	CLAIMS
	(Attach a detailed explanation for any “Yes” answers)
	a.	Are you aware of any incidents or circumstances which are likely to result in claims against
		you under the coverage sought herein?	[   ] Yes  [   ] No
	b.	Have you ever been inspected, surveyed, or audited by the Food & Drug Administration, the
		Center for Drug Evaluation and Research, or the Center for Biologics Evaluation and Research?	[   ] Yes  [   ] No
	c.	Have you ever been subject to any inquiry or investigation by any federal, state or local 
		agency concerning your professional services?	[   ] Yes  [   ] No
	d.	Do you operate in compliance with the FDA’s Good Clinical Practice Guidelines?	[   ] Yes  [   ] No
	e.	Have you ever been cited for any non-compliance of Good Clinical Practices or any federal,
		state or local law, ordinance, directive or regulation? 	[   ] Yes  [   ] No
6.	COVERAGE
	a.	Limits of liability desired: $____________________
	b.	Amount of deductible desired: $__________________
	c.	Present coverage
					Claims Made?
		Carrier	Prof	GL	Deductible/SIR	Limits	Yes	No

		If Yes, please provide an explanation.
	d.	Retroactive date (if applicable) 	
7.	ADDITIONAL INFORMATION
	Please provide the following information with this application:
		(i)	Advertisements, brochures, descriptive literature.
		(ii)	Sample contract between you and the clinical trial investigator, if the investigator is not your employee or an employee of the test site facility.
		(iii)	Informed consent document.
		(iv)	Most recent Annual Report or audited financial statement
		(v)	Copy of letterhead or other business stationary.
* NOTICE TO APPLICANT: The coverage applied for is SOLELY AS STATED IN THE POLICY, which provides coverage on a "CLAIMS MADE" basis for ONLY THOSE CLAIMS THAT ARE FIRST MADE AGAINST THE INSURED DURING THE POLICY PERIOD unless the extended reporting period option is exercised in accordance with the terms of the policy.
WARRANTY: I/We warrant to the Insurer, that I understand and accept the notice stated above and that the information contained herein is true and that it shall be the basis of the policy of insurance and deemed incorporated therein, should the Insurer evidence its acceptance of this application by issuance of a policy.  I/We authorize the release of claim information from any prior insurer to Shand Morahan & Company, Inc., Underwriting Manager for the Company.

Name of Applicant*		Title (Officer, partner, etc.)

Signature of Applicant*		Date
Signing this application does not bind the Applicant or the Insurer or the Underwriting Manager to complete the insurance, but one copy of this application will be attached to the policy, if issued.

BROKER RISK SUMMARY
(Medical Malpractice and Specified Medical)

ACCOUNT NAME:

	Address
	City, State, Zip
	States of Licensure
New or Renewal for Shand

DESCRIPTION OF SERVICES:
(Include management experience & staffing)

CURRENT INSURANCE PROGRAM:

	Name of Carrier:_______________________________________________

	Limits:____________    Deductible:_____________   Premium:__________

	Expiration Date: ________________		Retro Date: ________________

LOSS EXPERIENCE:
(7-10 years currently valued loss information)

RISK MANAGEMENT/QUALITY ASSURANCE PROGRAM:
(Including Credentialing/hiring protocols)

DATE QUOTE NEEDED: